CNJCG Seminar – Risk Management & Compliance Monitoring

Description: Tightening regulations, potential litigation, monetary liabilities, reputational risks. The exposures for all operational areas, including investment advisory, keep increasing. 

If your bank and fiduciaries want a stronger grasp on the latest compliance trends and a new playbook for effective risk management, join us for this complimentary breakfast seminar, where attendees will learn strong risk management provides the best risk defense, and to:

• Identify key elements for implementing an effective compliance monitoring program
• Assess and prep for the most targeted areas of regulatory review and auditor focus
• Establish best practices for board governance and oversight
• Identify key risks related to trust and investment management activities

Schedule:
9:00 – 9:30 A.M. – Breakfast & Networking
9:30 – 11:00 A.M. – Presentation

1.5 CPE credits in Specialized Knowledge are offered at this free, group-live seminar. Program level – basic. No advance preparation or prerequisites required.

Presenter:  Raji Sathappan, CPA, MBA, CRCM, CAMS and Kathleen J. Root, MS, CTA, CFSA, CBA, Directors in Mercadien’s Financial Institutions Services Group

Refund/Cancellation Policy: Since this program will be presented free of charge, there will be no refunds issued.  For more information regarding complaint and/or program cancellation policies, please contact our office at 609-689-9700.

Please note: Attendance may be limited. If you have any questions or would like more information about this event, contact us by emailing [email protected] or calling 609-689-9700.

Register